Regulatory wrap episode 51: FINRA’s 2025 regulatory report: what firms need to know
In Regulatory Wrap for the week to January 31, we extract the need-to-know details from FINRA’s Annual Regulatory Oversight Report for 2025.
IM impact: Are you accounting for emerging instant messaging channels?
Communications compliance persists as a regulatory focus area - but, amid a landscape of fast-emerging instant messaging applications, are firms treating IM platforms as a compliance priority?
Hands off – FCA confirms it won’t issue WhatsApp rules for banks
The Financial Conduct Authority has ended years of industry speculation around a potential UK-based compliant communications crackdown by confirming it is “not planning any wholesale rules” around WhatsApp use by firms.
Firms call for return to office: How can compliance tools support hybrid work?
As businesses return to work for 2025, financial services firms have made headlines with new, more stringent ‘return to office’ (RTO) policies. Does RTO mark the end of a ‘working from home’ (WFH) model for financial services, or can compliance technology mitigate the risks of hybrid work?
New year, same SEC as 12 firms hit with $63 million in off-channel communications fines
The SEC has fined 12 firms a combined $63 million for recordkeeping failures relating to off-channel communications – but does this set the regulatory tone for the year to come?
Regulatory Wrap Episode 50: Wrap of the Year – the Top Compliance Stories of 2024
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
Regulatory Wrap Episode #48: SEC’s record fines & FCA’s AI insights
In Regulatory Wrap for the week to November 29, Rob Mason recounts attention-grabbing figures highlighted in recent regulatory releases from the SEC and FCA.
Why Apple® Messages should be on your communications capture list
As one of the main platforms used for texting, firms should assess their capture needs for Apple® Messages to keep in line with recordkeeping requirements.
Record year for SEC enforcement sees $8.2 billion in fines through 2024
The SEC has released its annual enforcement results for 2024, giving insight into the number of enforcement actions, totals fines imposed, and a comparison of the regulator’s achievements year-on-year.
Global Relay Data Insights: Communication Capture Trends in 2024/25
Global Relay analyzes the data of over 12,000 regulated financial institutions to provide a unique view of how the industry is capturing communication data.